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Edesa Biotech, Inc.

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7223
SEC CIK
0001540159
Parsed reports
237

Last 12 months

Inside the activity.

9 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202630
Mar 202660
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 09, 2020 Filed Nov 9, 2020 18:01 UTC OtherCommon Shares 4,262 $4.00 $17,048.00
Disclosure

SEC source: 0001654954-20-012045 · section16.xml · nonDerivative · entry 1

JOHNSON LORIN K · CIK 0001053878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,786

Read SEC document
November 06, 2020 Filed Nov 9, 2020 20:39 UTC OtherCommon Share Warrants (Right to Buy) · Derivative 914 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001654954-20-012001 · section16.xml · derivative · entry 2

Brooks Michael J · CIK 0001779126 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 914 shares

Expires 2020-11-08

Read SEC document
November 06, 2020 Filed Nov 9, 2020 20:39 UTC OtherCommon Shares 914 $4.00 $3,656.00
Disclosure

SEC source: 0001654954-20-012001 · section16.xml · nonDerivative · entry 1

Brooks Michael J · CIK 0001779126 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,241

Read SEC document
November 06, 2020 Filed Nov 9, 2020 17:54 UTC
NIFFENEGGER KATHIChief Financial Officer
OtherCommon Share Warrants (Right to Buy) · Derivative 609 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001654954-20-011986 · section16.xml · derivative · entry 2

NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

Underlying: Common Shares · 609 shares

Expires 2020-11-08

Read SEC document
November 06, 2020 Filed Nov 9, 2020 17:54 UTC
NIFFENEGGER KATHIChief Financial Officer
OtherCommon Shares 609 $4.00 $2,436.00
Disclosure

SEC source: 0001654954-20-011986 · section16.xml · nonDerivative · entry 1

NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,827

Read SEC document
November 06, 2020 Filed Nov 10, 2020 17:39 UTC OtherCommon Share Warrants (Right to Buy) · Derivative 1,218 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001654954-20-012096 · section16.xml · derivative · entry 2

Pay Paul William · CIK 0001778480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 1,218 shares

Expires 2020-11-08

Read SEC document
November 06, 2020 Filed Nov 10, 2020 17:39 UTC OtherCommon Shares 1,218 $4.00 $4,872.00
Disclosure

SEC source: 0001654954-20-012096 · section16.xml · nonDerivative · entry 1

Pay Paul William · CIK 0001778480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,654

Read SEC document
November 05, 2020 Filed Nov 6, 2020 10:00 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
Pardeep Nijhawan Medicine Professional CorpDirector · Chief Executive Officer · 10% owner
OtherCommon share warrants (Right to buy) · Derivative 4,628 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001654954-20-011925 · section16.xml · derivative · entry 5

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 0

Underlying: Common shares · 4,628 shares

Expires 2020-11-08

F1 · ownership.nature: Each of Pardeep Medicine Professional Corporation, The Digestive Health Clinic Inc. and 1968160 Ontario Inc. are wholly-owned by Pardeep Nijhawan.

Read SEC document
November 05, 2020 Filed Nov 6, 2020 10:00 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
Pardeep Nijhawan Medicine Professional CorpDirector · Chief Executive Officer · 10% owner
OtherCommon Shares 4,628 $4.00 $18,512.00
Disclosure

SEC source: 0001654954-20-011925 · section16.xml · nonDerivative · entry 1

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 2,128,652

F1 · ownership.nature: Each of Pardeep Medicine Professional Corporation, The Digestive Health Clinic Inc. and 1968160 Ontario Inc. are wholly-owned by Pardeep Nijhawan.

Read SEC document
November 05, 2020 Filed Nov 6, 2020 15:04 UTC OtherCommon Share Warrants (Right to Buy) · Derivative 1,218 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001654954-20-011927 · section16.xml · derivative · entry 2

Sistilli Carlo · CIK 0001777988 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common shares · 1,218 shares

Expires 2020-11-08

F1 · ownership.nature: York-Cav Enterprises, Inc. is partially owned by the reporting party. Mr. Sistilli disclaims beneficial ownership except to the extent of his pecuniary interest therein.

Read SEC document
November 05, 2020 Filed Nov 6, 2020 15:04 UTC OtherCommon shares 1,218 $4.00 $4,872.00
Disclosure

SEC source: 0001654954-20-011927 · section16.xml · nonDerivative · entry 1

Sistilli Carlo · CIK 0001777988 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by York-Cav Enterprises, Inc.

Disclosed balance after: 3,654

F1 · ownership.nature: York-Cav Enterprises, Inc. is partially owned by the reporting party. Mr. Sistilli disclaims beneficial ownership except to the extent of his pecuniary interest therein.

Read SEC document
November 02, 2020 Filed Nov 3, 2020 18:18 UTC
van der Velden PeterDirector · 10% owner
OtherCommon Share Warrants (Right to Buy) · Derivative 5,952 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001654954-20-011786 · section16.xml · derivative · entry 4

van der Velden Peter · CIK 0001778046 · Director · 10% owner

Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Lumira Capital II (International), L.P.

Disclosed balance after: 0

Underlying: Common Shares · 5,952 shares

Expires 2020-11-08

F1 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any.

Read SEC document
November 02, 2020 Filed Nov 3, 2020 18:18 UTC
van der Velden PeterDirector · 10% owner
OtherCommon Share Warrants (Right to Buy) · Derivative 64,362 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001654954-20-011786 · section16.xml · derivative · entry 3

van der Velden Peter · CIK 0001778046 · Director · 10% owner

Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Lumira Capital II, L.P.

Disclosed balance after: 0

Underlying: Common Shares · 64,362 shares

Expires 2020-11-08

F1 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any.

Read SEC document
November 02, 2020 Filed Nov 3, 2020 18:18 UTC
van der Velden PeterDirector · 10% owner
OtherCommon Shares 5,952 $4.00 $23,808.00
Disclosure

SEC source: 0001654954-20-011786 · section16.xml · nonDerivative · entry 2

van der Velden Peter · CIK 0001778046 · Director · 10% owner

Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Lumira Capital II (International), L.P.

Disclosed balance after: 175,454

F1 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any.

Read SEC document
November 02, 2020 Filed Nov 3, 2020 18:18 UTC
van der Velden PeterDirector · 10% owner
OtherCommon Shares 64,362 $4.00 $257,448.00
Disclosure

SEC source: 0001654954-20-011786 · section16.xml · nonDerivative · entry 1

van der Velden Peter · CIK 0001778046 · Director · 10% owner

Lumira Capital Investment Management Inc. · CIK 0001702636 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Lumira Capital II, L.P.

Disclosed balance after: 1,897,428

F1 · ownership.nature: This Form 4 is jointly filed by (i) Lumira Capital II, L.P. ("LCII LP"), (ii) Lumira Capital II (International), L.P. ("LCII INT LP"), (iii) Lumira Capital GP, L.P., (iv) Lumira GP Inc., (v) Lumira GP Holdings Co., and (vi) Lumira Capital Investment Management Inc. Lumira Capital GP, L.P., the general partners of which are Lumira GP Inc. and Lumira GP Holdings Co., is the general partner of LCII LP and LCII INT LP, and each of LCII LP and LCII INT LP is managed by Lumira Capital Investment Management Inc. Mr. van der Velden is an executive officer of Lumira GP Inc., Lumira GP Holdings Co., and Lumira Capital Investment Management Inc. Each of Lumira Capital GP, L.P., Lumira GP Inc., Lumira GP Holdings Co., Lumira Capital Investment Management Inc. and Mr. van der Velden may be deemed to beneficially own the shares held by LCII LP and LCII INT LP, but each disclaim beneficial ownership except to the extent of their pecuniary interest therein, if any.

Read SEC document
October 13, 2020 Filed Oct 14, 2020 15:50 UTC GrantStock option (right to buy) · Derivative 20,000 $0.00 Strike: $7.44 $0.00
Disclosure

SEC source: 0001654954-20-011139 · section16.xml · derivative · entry 1

JOHNSON LORIN K · CIK 0001053878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common shares · 20,000 shares

Expires 2030-10-13

F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date.

Read SEC document
October 13, 2020 Filed Oct 14, 2020 19:57 UTC GrantStock option (right to buy) · Derivative 20,000 $0.00 Strike: $7.44 $0.00
Disclosure

SEC source: 0001654954-20-011152 · section16.xml · derivative · entry 1

Sistilli Carlo · CIK 0001777988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common shares · 20,000 shares

Expires 2030-10-13

F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date.

Read SEC document
October 13, 2020 Filed Oct 14, 2020 19:51 UTC GrantStock option (right to buy) · Derivative 20,000 $0.00 Strike: $7.44 $0.00
Disclosure

SEC source: 0001654954-20-011141 · section16.xml · derivative · entry 1

MacDonald Sean Arthur · CIK 0001778981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common shares · 20,000 shares

Expires 2030-10-13

F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date.

Read SEC document
October 13, 2020 Filed Oct 14, 2020 19:57 UTC GrantStock option (right to buy) · Derivative 50,000 $0.00 Strike: $7.44 $0.00
Disclosure

SEC source: 0001654954-20-011151 · section16.xml · derivative · entry 1

Brooks Michael J · CIK 0001779126 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common shares · 50,000 shares

Expires 2030-10-13

F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date.

Read SEC document
October 13, 2020 Filed Oct 14, 2020 19:57 UTC GrantStock option (right to buy) · Derivative 20,000 $0.00 Strike: $7.44 $0.00
Disclosure

SEC source: 0001654954-20-011150 · section16.xml · derivative · entry 1

OAKES FRANK R. · CIK 0001620188 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common shares · 20,000 shares

Expires 2030-10-13

F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date.

Read SEC document
October 13, 2020 Filed Oct 14, 2020 19:57 UTC GrantStock option (right to buy) · Derivative 20,000 $0.00 Strike: $7.44 $0.00
Disclosure

SEC source: 0001654954-20-011149 · section16.xml · derivative · entry 1

Pay Paul William · CIK 0001778480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common shares · 20,000 shares

Expires 2030-10-13

F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date.

Read SEC document
October 13, 2020 Filed Oct 14, 2020 19:54 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
GrantStock option (right to buy) · Derivative 60,000 $0.00 Strike: $7.44 $0.00
Disclosure

SEC source: 0001654954-20-011144 · section16.xml · derivative · entry 1

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common shares · 60,000 shares

Expires 2030-10-13

F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date.

Read SEC document
October 13, 2020 Filed Oct 14, 2020 19:51 UTC
van der Velden PeterDirector · 10% owner
GrantStock option (right to buy) · Derivative 20,000 $0.00 Strike: $7.44 $0.00
Disclosure

SEC source: 0001654954-20-011142 · section16.xml · derivative · entry 1

van der Velden Peter · CIK 0001778046 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common shares · 20,000 shares

Expires 2030-10-13

F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date.

Read SEC document
October 13, 2020 Filed Oct 14, 2020 19:51 UTC
NIFFENEGGER KATHIChief Financial Officer
GrantStock option (right to buy) · Derivative 50,000 $0.00 Strike: $7.44 $0.00
Disclosure

SEC source: 0001654954-20-011140 · section16.xml · derivative · entry 1

NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common shares · 50,000 shares

Expires 2030-10-13

F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date.

Read SEC document
October 06, 2020 Filed Nov 3, 2020 20:33 UTC OtherCommon Share Warrants (Right to Buy) · Derivative 609 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001654954-20-011793 · section16.xml · derivative · entry 3

OAKES FRANK R. · CIK 0001620188 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

Underlying: Common Shares · 609 shares

Expires 2020-11-08

Read SEC document
October 06, 2020 Filed Nov 3, 2020 20:33 UTC OtherCommon Shares 609 $4.00 $2,436.00
Disclosure

SEC source: 0001654954-20-011793 · section16.xml · nonDerivative · entry 1

OAKES FRANK R. · CIK 0001620188 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,827

Read SEC document
September 17, 2020 Filed Sep 18, 2020 09:23 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
Pardeep Nijhawan Medicine Professional CorpDirector · Chief Executive Officer · 10% owner
OtherCommon Shares 371,727 Not disclosed Not disclosed
Disclosure

SEC source: 0001654954-20-010224 · section16.xml · nonDerivative · entry 1

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by 1968160 Ontario Inc.

Disclosed balance after: 371,727

F2 · price: Pardeep Nijhawan acquired 100% of the capital stock of 1968160 Ontario Inc. which holds 371,727 common shares of the issuer, pursuant to the foreign equivalent of a domestic relations order.

F1 · ownership.nature: Each of Pardeep Medicine Professional Corporation, The Digestive Health Clinic Inc. and 1968160 Ontario Inc. are wholly-owned by Pardeep Nijhawan.

Read SEC document
May 27, 2020 Filed May 29, 2020 13:20 UTC PurchaseCommon Shares 1,000 $3.00 $3,000.00
Disclosure

SEC source: 0001654954-20-006075 · section16.xml · nonDerivative · entry 2

Brooks Michael J · CIK 0001779126 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,327

Read SEC document
May 27, 2020 Filed May 29, 2020 13:20 UTC PurchaseCommon Shares 1,500 $3.00 $4,498.50
Disclosure

SEC source: 0001654954-20-006075 · section16.xml · nonDerivative · entry 1

Brooks Michael J · CIK 0001779126 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,327

Read SEC document
May 26, 2020 Filed May 28, 2020 12:19 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
Pardeep Nijhawan Medicine Professional CorpDirector · Chief Executive Officer · 10% owner
PurchaseCommon Shares 3,000 $2.98 $8,939.10
Disclosure

SEC source: 0001654954-20-006029 · section16.xml · nonDerivative · entry 1

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation (1)

Disclosed balance after: 2,124,024

F1 · ownership.nature: Each of Pardeep Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan.

Read SEC document
March 29, 2020 Filed Mar 29, 2021 13:02 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
Pardeep Nijhawan Medicine Professional CorpDirector · Chief Executive Officer · 10% owner
PurchaseCommon Shares 2,000 $5.23 $10,460.00
Disclosure

SEC source: 0001654954-21-003384 · section16.xml · nonDerivative · entry 1

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 547,312

Read SEC document
March 17, 2020 Filed Mar 19, 2020 10:34 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
PurchaseCommon Shares 1,000 $1.90 $1,897.50
Disclosure

SEC source: 0001654954-20-002851 · section16.xml · nonDerivative · entry 5

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 2,121,024

F1 · ownership.nature: Each of Pardeep Nijhawan Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan.

Read SEC document
March 17, 2020 Filed Mar 19, 2020 10:34 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
PurchaseCommon Shares 1,000 $1.83 $1,828.00
Disclosure

SEC source: 0001654954-20-002851 · section16.xml · nonDerivative · entry 4

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 2,120,024

F1 · ownership.nature: Each of Pardeep Nijhawan Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan.

Read SEC document
March 17, 2020 Filed Mar 19, 2020 10:34 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
PurchaseCommon Shares 1,000 $1.90 $1,897.80
Disclosure

SEC source: 0001654954-20-002851 · section16.xml · nonDerivative · entry 3

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 2,119,024

F1 · ownership.nature: Each of Pardeep Nijhawan Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan.

Read SEC document
March 17, 2020 Filed Mar 19, 2020 10:34 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
PurchaseCommon Shares 1,000 $1.86 $1,859.90
Disclosure

SEC source: 0001654954-20-002851 · section16.xml · nonDerivative · entry 2

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 2,118,024

F1 · ownership.nature: Each of Pardeep Nijhawan Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan.

Read SEC document
March 17, 2020 Filed Mar 19, 2020 10:34 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
PurchaseCommon Shares 1,000 $1.89 $1,889.90
Disclosure

SEC source: 0001654954-20-002851 · section16.xml · nonDerivative · entry 1

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 2,117,024

F1 · ownership.nature: Each of Pardeep Nijhawan Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan.

Read SEC document
February 12, 2020 Filed Feb 14, 2020 18:19 UTC GrantShare Option (Right to Buy) · Derivative 11,389 $0.00 Strike: $3.16 $0.00
Disclosure

SEC source: 0001654954-20-001652 · section16.xml · derivative · entry 1

JOHNSON LORIN K · CIK 0001053878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,389

Underlying: Common Shares · 11,389 shares

Expires 2030-02-12

F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested

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February 12, 2020 Filed Feb 14, 2020 23:19 UTC GrantShare Option (Right to Buy) · Derivative 11,389 $0.00 Strike: $3.16 $0.00
Disclosure

SEC source: 0001654954-20-001651 · section16.xml · derivative · entry 1

MacDonald Sean Arthur · CIK 0001778981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,389

Underlying: Common Shares · 11,389 shares

Expires 2030-02-12

F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested.

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February 12, 2020 Filed Feb 14, 2020 23:08 UTC GrantShare Option (Right to Buy) · Derivative 11,389 $0.00 Strike: $3.16 $0.00
Disclosure

SEC source: 0001654954-20-001647 · section16.xml · derivative · entry 1

Sistilli Carlo · CIK 0001777988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,389

Underlying: Common Shares · 11,389 shares

Expires 2030-02-12

F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested

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February 12, 2020 Filed Feb 14, 2020 23:19 UTC GrantShare Option (Right to Buy) · Derivative 68,988 $0.00 Strike: $3.16 $0.00
Disclosure

SEC source: 0001654954-20-001654 · section16.xml · derivative · entry 1

Brooks Michael J · CIK 0001779126 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,988

Underlying: Common Shares · 68,988 shares

Expires 2030-02-12

F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested

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February 12, 2020 Filed Feb 14, 2020 23:19 UTC
van der Velden PeterDirector · 10% owner
GrantShare Option (Right to Buy) · Derivative 11,389 $0.00 Strike: $3.16 $0.00
Disclosure

SEC source: 0001654954-20-001653 · section16.xml · derivative · entry 1

van der Velden Peter · CIK 0001778046 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,389

Underlying: Common Shares · 11,389 shares

Expires 2030-02-12

F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested.

Read SEC document
February 12, 2020 Filed Feb 14, 2020 23:19 UTC GrantShare Option (Right to Buy) · Derivative 11,389 $0.00 Strike: $3.16 $0.00
Disclosure

SEC source: 0001654954-20-001655 · section16.xml · derivative · entry 1

OAKES FRANK R. · CIK 0001620188 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,389

Underlying: Common Shares · 11,389 shares

Expires 2030-02-12

F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested

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February 12, 2020 Filed Feb 14, 2020 23:19 UTC
NIFFENEGGER KATHIChief Financial Officer
GrantShare Option (Right to Buy) · Derivative 88,699 $0.00 Strike: $3.16 $0.00
Disclosure

SEC source: 0001654954-20-001650 · section16.xml · derivative · entry 1

NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,699

Underlying: Common Shares · 88,699 shares

Expires 2030-02-12

F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested

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February 12, 2020 Filed Feb 14, 2020 23:19 UTC GrantShare Option (Right to Buy) · Derivative 11,389 $0.00 Strike: $3.16 $0.00
Disclosure

SEC source: 0001654954-20-001649 · section16.xml · derivative · entry 1

Pay Paul William · CIK 0001778480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,389

Underlying: Common Shares · 11,389 shares

Expires 2030-02-12

F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested

Read SEC document
January 08, 2020 Filed Jan 10, 2020 14:11 UTC PurchaseCommon Share Warrants (Right to Buy) · Derivative 4,262 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001654954-20-000267 · section16.xml · derivative · entry 3

JOHNSON LORIN K · CIK 0001053878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,262

Underlying: Common Shares · 4,262 shares

Expires 2020-11-08

F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020.

F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share.

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January 08, 2020 Filed Jan 10, 2020 14:11 UTC PurchaseCommon Share Warrants (Right to Buy) · Derivative 6,393 Not disclosed Strike: $4.80 Not disclosed
Disclosure

SEC source: 0001654954-20-000267 · section16.xml · derivative · entry 2

JOHNSON LORIN K · CIK 0001053878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,393

Underlying: Common Shares · 6,393 shares

Expires 2023-07-08

F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023.

F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share.

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January 08, 2020 Filed Jan 10, 2020 14:11 UTC PurchaseCommon Shares 8,524 $4.11 $35,033.64
Disclosure

SEC source: 0001654954-20-000267 · section16.xml · nonDerivative · entry 1

JOHNSON LORIN K · CIK 0001053878 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,524

F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share.

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January 08, 2020 Filed Jan 10, 2020 21:42 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
GrantCommon Share Warrants (Right to Buy) · Derivative 4,628 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001654954-20-000314 · section16.xml · derivative · entry 5

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 4,628

Underlying: Common Shares · 4,628 shares

Expires 2020-11-08

F4 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020.

F1 · price: The reported securities are included within 9,255 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share.

F2 · ownership.nature: Each of Pardeep Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan.

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January 08, 2020 Filed Jan 10, 2020 21:42 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
GrantCommon Share Warrants (Right to Buy) · Derivative 6,942 Not disclosed Strike: $4.80 Not disclosed
Disclosure

SEC source: 0001654954-20-000314 · section16.xml · derivative · entry 4

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 6,942

Underlying: Common Shares · 6,942 shares

Expires 2023-07-08

F3 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023.

F1 · price: The reported securities are included within 9,255 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share.

F2 · ownership.nature: Each of Pardeep Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan.

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January 08, 2020 Filed Jan 10, 2020 21:42 UTC
Nijhawan PardeepDirector · Chief Executive Officer · 10% owner
GrantCommon Shares 9,255 $4.11 $38,038.05
Disclosure

SEC source: 0001654954-20-000314 · section16.xml · nonDerivative · entry 1

Nijhawan Pardeep · CIK 0001777962 · Director · Chief Executive Officer · 10% owner

Pardeep Nijhawan Medicine Professional Corp · CIK 0001780021 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Pardeep Nijhawan Medicine Professional Corporation

Disclosed balance after: 2,116,024

F1 · price: The reported securities are included within 9,255 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share.

F2 · ownership.nature: Each of Pardeep Medicine Professional Corporation and The Digestive Health Clinic Inc. are wholly-owned by Pardeep Nijhawan.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.